Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.

Representation for RIA Formation and Compliance

The attorneys at Lewitas Hyman understand that registered investment advisors (RIAs) face many challenges. Among other obligations, as an RIA, you are required to have compliance programs designed to prevent violations of the Investment Advisers Act of 1940 (Advisers Act) and other rules and regulations, prepare and file special reports with the Securities and Exchange Commission (SEC), provide clients with written disclosure statements, and create/enforce a code of ethics governing employees.

As attorneys who have worked for some of the largest financial institutions as well as the SEC, we have extensive experience with not only the Advisers Act, but also the rules and provisions specific to RIAs.

Our attorneys have helped RIAs deal with everything from formation to complex litigation and regulatory and compliance issues. We have extensive experience in:

With the changes in the securities industry, RIAs are becoming more popular. However, RIAs are strictly regulated not only by the SEC, but also by state securities regulators. Our attorneys have helped RIA clients better understand the constantly shifting regulatory landscape impacting RIA regulatory compliance.

For more information about the services we provide to RIAs, please contact Lewitas Hyman at (888) 655-6002 or through our online contact form.